Title 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
PART 260--GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
|
|
| 260.0-1 |
Application of definitions contained in the act. |
|
| 260.0-2 |
Definitions of terms used in the rules and regulations. |
|
| 260.0-3 |
Definition of ``rules and regulations'' as used in certain sections of the Act. |
|
| 260.0-4 |
Sequential numbering of documents filed with the Commission. |
|
| 260.0-5 |
Business hours of the Commission. |
|
| 260.0-6 |
Nondisclosure of information obtained in the course of examinations and investigations. |
|
| 260.0-7 |
Small entities for purposes of the Regulatory Flexibility Act. |
|
| 260.0-11 |
Liability for certain statements by issuers. |
|
| 260.3(4)-1 |
Definition of ``commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions'' in section 303(4), for certain transactions. |
|
| 260.3(4)-2 |
Definition of ``distribution'' in section 303(4) for certain transactions. |
|
| 260.3(4)-3 |
Definitions of ``participates'' and ``participation'' as used in section 303(4), in relation to certain transactions. |
|
| 260.4a-1 |
Exempted securities under section 304(a)(8). |
|
| 260.4a-2 |
Exempted securities under section 304(d). |
|
| 260.4a-3 |
Exempted securities under section 304(a)(9). |
|
| 260.4c-1 |
Form for applications under section 304(c). |
|
| 260.4c-2 |
General requirements as to form and content of applications. |
|
| 260.4c-3 |
Number of copies; filing; signatures; binding. |
|
| 260.4c-4 |
Applications under section 304(c)(1). |
|
| 260.4c-5 |
Applications under section 304(c)(2). |
|
| 260.4d-7 |
Application for exemption from one or more provisions of the Act. |
|
| 260.4d-8 |
Content. |
|
| 260.4d-9 |
Exemption for Canadian Trust Indentures from Specified Provisions of the Act. |
|
| 260.4d-10 |
Exemption for securities issued pursuant to 230.802 of this chapter. |
|
| 260.5a-1 |
Forms for statements of eligibility and qualification. |
|
| 260.5a-2 |
General requirements as to form and content of statements of eligibility and qualification. |
|
| 260.5a-3 |
Number of copies; filing; signatures; binding. |
|
| 260.5b-1 |
Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis. |
|
| 260.5b-2 |
General requirements as to form and content of applications. |
|
| 260.5b-3 |
Number of copies--Filing--Signatures. |
|
| 260.7a-1 |
Form for application. |
|
| 260.7a-2 |
Powers of agent for service named in application. |
|
| 260.7a-3 |
Number of copies; filing; signatures; binding. |
|
| 260.7a-4 |
Calculation of time. |
|
| 260.7a-5 |
Filing of amendments; number of copies. |
|
| 260.7a-6 |
Telegraphic delaying amendments. |
|
| 260.7a-7 |
Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission. |
|
| 260.7a-8 |
Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission. |
|
| 260.7a-9 |
Delaying amendments. |
|
| 260.7a-15 |
Scope of 260.7a-15 to 260.7a-37. |
|
| 260.7a-16 |
Inclusion of items, differentiation between items and answers, omission of instructions. |
|
| 260.7a-17 |
Quality, color and size of paper. |
|
| 260.7a-18 |
Legibility. |
|
| 260.7a-19 |
Margin for binding. |
|
| 260.7a-20 |
Riders; inserts. |
|
| 260.7a-21 |
Clarity. |
|
| 260.7a-22 |
Information unknown or not reasonably available. |
|
| 260.7a-23 |
Statements required where item is inapplicable or where answer is ``none''. |
|
| 260.7a-24 |
Words relating to periods of time in the past. |
|
| 260.7a-25 |
Words relating to the future. |
|
| 260.7a-26 |
Disclaimer of control. |
|
| 260.7a-27 |
Title of securities. |
|
| 260.7a-28 |
Incorporation of matter in application, statement or report, other than exhibits, as answer to item. |
|
| 260.7a-29 |
Incorporation of exhibits as such. |
|
| 260.7a-30 |
Identification of material incorporated; form of incorporation. |
|
| 260.7a-31 |
Incorporation by reference of contested material. |
|
| 260.7a-32 |
Incorporation by reference rendering document incomplete, unclear, or confusing. |
|
| 260.7a-33 |
Additional exhibits. |
|
| 260.7a-34 |
Omission of substantially identical documents. |
|
| 260.7a-35 |
Formal requirements as to amendments. |
|
| 260.7a-36 |
Signatures to amendments. |
|
| 260.7a-37 |
Inspection of applications, statements and reports. |
|
| 260.10a-1 |
Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act. |
|
| 260.10a-2 |
General requirements as to form and content of applications. |
|
| 260.10a-3 |
Number of copies--Filing--Signatures. |
|
| 260.10a-4 |
Consent of trustee to service of process. |
|
| 260.10a-5 |
Eligibility of Canadian Trustees. |
|
| 260.10b-1 |
Calculation of percentages. |
|
| 260.10b-2 |
Applications under section 310(b)(1)(ii). |
|
| 260.10b-3 |
Applications relative to affiliations between trustees and underwriters. |
|
| 260.10b-4 |
Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act. |
|
| 260.10b-5 |
Content. |
|
| 260.10b-6 |
Notices--Exemptive Application Procedure. |
|
| 260.11b-4 |
Definition of ``cash transaction'' in section 311(b)(4). |
|
| 260.11b-6 |
Definition of ``self-liquidating paper'' in section 311(b)(6). |
|
| 260.14a-1 |
Application of 260.7a-15 to 260.7a-38. |
|
| 260.19a-1 |
Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors. |